FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052790301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dawson James Securities, Inc. (Respondent) Member Firm CRD No. 130645 Pursuant to FINRA Rule 9216, Respondent Dawson James Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065453101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paul Tadashi Inouye (Respondent) Former General Securities Representative CRD No. 1944879 Pursuant to FINRA Rule 9216, Respondent Paul Tadashi Inouye submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.